Intersting Articles on Compliance in Investment Organizations

Conflicts of interest chief compliance officers face in implementing compliance programs for investment funds and investment advisers
Thomas M. Majewski. The Journal of Investment Compliance. London: 2006. Vol. 7, Iss. 4; pg. 23

Compensating mutual fund advisers: a return to the basics of properly structured performance fees
F. Scott Thomas, John C. Jaye. The Journal of Investment Compliance. London: 2006. Vol. 7, Iss. 4; pg. 28

The investment company chief compliance officer: three years later - an assessment of the evolution of the role of the CCO
Michael R. Rosella, Domenick Pugliese. The Journal of Investment Compliance. London: 2006. Vol. 7, Iss. 4; p. 16

Hedge fund side letters: guidance for UK managers
Peter D. Astleford, Richard Frase, Andrew Hougie, Stuart Martin. The Journal of Investment Compliance. London: 2007. Vol. 8, Iss. 1; p. 13

NASD expands broker-dealer's duty of best execution
Soo J. Yim, Christie Farris Öberg. The Journal of Investment Compliance. London: 2007. Vol. 8, Iss. 1; p. 25

SEC releases new interpretive guidance on soft dollar arrangements
Stuart J. Kaswell, Alan Rosenblat, Michael L. Sherman. The Journal of Investment Compliance. London: 2006. Vol. 7, Iss. 3; p. 4

Personal trading policies for hedge fund managers
Thomas S. Harman, Monica L. Parry. The Journal of Investment Compliance. London: 2006. Vol. 7, Iss. 2; p. 34

Hedge fund marketing overview
Ethan W. Johnson. The Journal of Investment Compliance. London: 2006. Vol. 7, Iss. 2; p. 48

Adviser recordkeeping requirements
W. John McGuire. The Journal of Investment Compliance. London: 2006. Vol. 7, Iss. 1; p. 43

E-thics: the new moral methodology for business
Paul Johns. The Journal of Investment Compliance. London: 2006. Vol. 7, Iss. 1; p. 83

The new supervisory rules regime: a practical look at areas of exposure for broker-dealers and senior personnel
Bruce Hiler, Thomas Kuczajda, Aseel Rabie. The Journal of Investment Compliance. London: 2006. Vol. 7, Iss. 1; p. 34

Converting hedge funds into mutual funds - a primer
F. Scott Thomas, John C. Jaye. The Journal of Investment Compliance. London: 2005. Vol. 6, Iss. 4; p. 25

The development of a compliance culture
Jeffrey C. Morton. The Journal of Investment Compliance. London: 2005. Vol. 6, Iss. 4; p. 59

The evolution of compliance
Chris Taylor. The Journal of Investment Compliance. London: 2005. Vol. 6, Iss. 4; p. 54

New supervisory control requirements for branch and remote offices
Amy N. Kroll, Anders W. Franzon. The Journal of Investment Compliance. London: 2005. Vol. 6, Iss. 3; p. 32

The role of compliance
The Journal of Investment Compliance. London: 2005. Vol. 6, Iss. 3; p. 4

Registered investment adviser compliance in a hedge fund environment
David A Scott. The Journal of Investment Compliance. London: 2005. Vol. 6, Iss. 2; p. 20